A leading investment firm specialized in secondary markets is seeking a Compliance Director to join their legal and compliance team. This exciting role offers the opportunity to work closely with the Chief Operating Officer, Legal Counsel, and Compliance Manager to build and deliver best-in-class regulatory compliance arrangements for the firm's Private Wealth business.
The Compliance Director will collaborate with key internal and external stakeholders to ensure effective compliance with regulatory standards across a variety of international markets. This is an excellent opportunity to be part of the firm's global expansion with high visibility from senior leadership and stakeholders. This role will require 4 days a week in NYC.
Responsbilities :
- Develop, implement, and enforce the firm's compliance program
- Design and operate the firm's monitoring/testing plans
- Assist with onboarding and reviewing of investors/providers
- Advise the greater business on regulatory matters
Desired Qualifications :
- Strong degree in a relevant field from a recognized university or business school.
- 5-10 years of experience in investment advisory, financial institutions, or a relevant service provider, with a focus on private wealth products and distribution across markets, including Canada and Latin America.
- Deep knowledge of the Investment Advisers Act and other relevant regulations.
If you are a seasoned compliance professional with experience in the private wealth sector and a passion for regulatory excellence, apply today!
